19th Aug 2021 13:05
FORM 8.3
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY
A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE
Rule 8.3 of the Takeover Code (the “Code”)
1. KEY INFORMATION
| (a) | Full name of discloser: | Barclays PLC. |
| (b) | Owner or controller of interest and short | |
| positions disclosed, if different from 1(a): | ||
| (c) | Name of offeror/offeree in relation to whose | NORTONLIFELOCK INC |
| relevant securities this form relates: | ||
| (d) | If an exempt fund manager connected with an | |
| offeror/offeree, state this and specify identity of | ||
| offeror/offeree: | ||
| (e) | Date position held/dealing undertaken: | 18 August 2021 |
| (f) | In addition to the company in 1(c) above, is the discloser making | YES: |
| disclosures in respect of any other party to the offer? | AVAST PLC |
2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE
If there are positions or rights to subscribe to disclose in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.
(a) Interests and short positions in the relevant securities of the offeror or offeree to which the disclosure relates following the dealing (if any)
| Class of relevant security: | USD 0.01 common | ||||
| Interests | Short Positions | ||||
| Number | (%) | Number | (%) | ||
(1) | Relevant securities owned | ||||
| and/or controlled: | 1,589,768 | 0.27% | 579,408 | 0.10% | |
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(2) | Cash-settled derivatives: |
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105,094 | 0.02% | 1,279,498 | 0.22% | ||
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(3) | Stock-settled derivatives (including options) |
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| and agreements to purchase/sell: | 261,900 | 0.05% | 13,500 | 0.00% | |
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| TOTAL: | 1,956,762 | 0.34% | 1,872,406 | 0.32% | |
| Class of relevant security: | Convertible Bond US668771AA66 | ||||
| Interests | Short Positions | ||||
| Number | (%) | Number | (%) | ||
(1) | Relevant securities owned | ||||
| and/or controlled: | 136,000 | 0.02% | 0 | 0.00% | |
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(2) | Cash-settled derivatives: |
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0 | 0.00% | 0 | 0.00% | ||
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(3) | Stock-settled derivatives (including options) |
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| and agreements to purchase/sell: | 0 | 0.00% | 0 | 0.00% | |
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| TOTAL: | 136,000 | 0.02% | 0 | 0.00% | |
All interests and all short positions should be disclosed.
Details of any open stock-settled derivative positions (including traded options), or agreements to purchase or sell relevant securities, should be given on a Supplemental Form 8 (Open Positions).
(b) Rights to subscribe for new securities (including directors’ and other employee options)
Class of relevant security in relation to which subscription right exists: |
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Details, including nature of the rights concerned and relevant percentages: |
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3. DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE
Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 3(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in.
The currency of all prices and other monetary amounts should be stated.
(a) Purchases and sales
| Class of relevant | Purchase/sale | Number of | Price per unit |
| security | securities | ||
USD 0.01 common | Purchase | 1 | 25.7200 USD |
USD 0.01 common | Purchase | 1 | 25.7300 USD |
USD 0.01 common | Purchase | 3 | 25.7666 USD |
USD 0.01 common | Purchase | 12 | 25.8600 USD |
USD 0.01 common | Purchase | 23 | 25.7882 USD |
USD 0.01 common | Purchase | 30 | 25.7050 USD |
USD 0.01 common | Purchase | 30 | 25.7400 USD |
USD 0.01 common | Purchase | 40 | 25.7800 USD |
USD 0.01 common | Purchase | 50 | 22.0750 EUR |
USD 0.01 common | Purchase | 60 | 25.7500 USD |
USD 0.01 common | Purchase | 69 | 25.7922 USD |
USD 0.01 common | Purchase | 90 | 25.7333 USD |
USD 0.01 common | Purchase | 100 | 25.8700 USD |
USD 0.01 common | Purchase | 126 | 25.7404 USD |
USD 0.01 common | Purchase | 130 | 25.7842 USD |
USD 0.01 common | Purchase | 180 | 25.7739 USD |
USD 0.01 common | Purchase | 211 | 25.8016 USD |
USD 0.01 common | Purchase | 226 | 25.8179 USD |
USD 0.01 common | Purchase | 285 | 25.7463 USD |
USD 0.01 common | Purchase | 286 | 25.7650 USD |
USD 0.01 common | Purchase | 291 | 25.7245 USD |
USD 0.01 common | Purchase | 294 | 25.7954 USD |
USD 0.01 common | Purchase | 343 | 25.8032 USD |
USD 0.01 common | Purchase | 400 | 25.6600 USD |
USD 0.01 common | Purchase | 541 | 25.7892 USD |
USD 0.01 common | Purchase | 805 | 25.8263 USD |
USD 0.01 common | Purchase | 1,305 | 25.7893 USD |
USD 0.01 common | Purchase | 1,465 | 25.7968 USD |
USD 0.01 common | Purchase | 1,500 | 25.8216 USD |
USD 0.01 common | Purchase | 1,560 | 25.8139 USD |
USD 0.01 common | Purchase | 5,000 | 25.7700 USD |
USD 0.01 common | Purchase | 9,008 | 25.7417 USD |
USD 0.01 common | Purchase | 14,295 | 25.7100 USD |
USD 0.01 common | Purchase | 18,704 | 25.7217 USD |
USD 0.01 common | Purchase | 22,290 | 25.7350 USD |
USD 0.01 common | Purchase | 25,853 | 25.7789 USD |
USD 0.01 common | Purchase | 30,834 | 25.7367 USD |
USD 0.01 common | Purchase | 37,918 | 25.7298 USD |
USD 0.01 common | Purchase | 52,327 | 25.7151 USD |
USD 0.01 common | Purchase | 87,791 | 25.7469 USD |
USD 0.01 common | Sale | 5 | 25.7150 USD |
USD 0.01 common | Sale | 15 | 25.7283 USD |
USD 0.01 common | Sale | 15 | 25.7200 USD |
USD 0.01 common | Sale | 15 | 25.7233 USD |
USD 0.01 common | Sale | 21 | 25.8300 USD |
USD 0.01 common | Sale | 25 | 25.7320 USD |
USD 0.01 common | Sale | 45 | 25.7333 USD |
USD 0.01 common | Sale | 50 | 22.0750 EUR |
USD 0.01 common | Sale | 100 | 25.7850 USD |
USD 0.01 common | Sale | 100 | 25.8200 USD |
USD 0.01 common | Sale | 100 | 25.7900 USD |
USD 0.01 common | Sale | 105 | 25.7195 USD |
USD 0.01 common | Sale | 106 | 25.7800 USD |
USD 0.01 common | Sale | 187 | 25.8077 USD |
USD 0.01 common | Sale | 300 | 25.7366 USD |
USD 0.01 common | Sale | 300 | 25.7116 USD |
USD 0.01 common | Sale | 300 | 25.7266 USD |
USD 0.01 common | Sale | 300 | 25.8266 USD |
USD 0.01 common | Sale | 320 | 25.7500 USD |
USD 0.01 common | Sale | 330 | 25.7789 USD |
USD 0.01 common | Sale | 400 | 25.7300 USD |
USD 0.01 common | Sale | 530 | 25.7029 USD |
USD 0.01 common | Sale | 635 | 25.7611 USD |
USD 0.01 common | Sale | 700 | 25.7771 USD |
USD 0.01 common | Sale | 800 | 25.7650 USD |
USD 0.01 common | Sale | 900 | 25.7933 USD |
USD 0.01 common | Sale | 993 | 25.7607 USD |
USD 0.01 common | Sale | 1,140 | 25.7750 USD |
USD 0.01 common | Sale | 1,271 | 25.8047 USD |
USD 0.01 common | Sale | 1,500 | 25.8216 USD |
USD 0.01 common | Sale | 1,725 | 25.7885 USD |
USD 0.01 common | Sale | 2,065 | 25.7675 USD |
USD 0.01 common | Sale | 2,200 | 25.7936 USD |
USD 0.01 common | Sale | 2,608 | 25.7171 USD |
USD 0.01 common | Sale | 2,989 | 25.8000 USD |
USD 0.01 common | Sale | 3,619 | 25.7947 USD |
USD 0.01 common | Sale | 3,777 | 25.7744 USD |
USD 0.01 common | Sale | 5,140 | 25.7700 USD |
USD 0.01 common | Sale | 6,489 | 25.7323 USD |
USD 0.01 common | Sale | 8,047 | 25.7729 USD |
USD 0.01 common | Sale | 8,246 | 25.7872 USD |
USD 0.01 common | Sale | 12,475 | 25.7475 USD |
USD 0.01 common | Sale | 15,174 | 25.7145 USD |
USD 0.01 common | Sale | 17,955 | 25.7303 USD |
USD 0.01 common | Sale | 26,512 | 25.7701 USD |
USD 0.01 common | Sale | 29,230 | 25.7377 USD |
USD 0.01 common | Sale | 41,137 | 25.7349 USD |
USD 0.01 common | Sale | 51,694 | 25.7353 USD |
USD 0.01 common | Sale | 62,455 | 25.7100 USD |
(b) Cash-settled derivative transactions
Class of relevant security | Product description e.g. CFD | Nature of dealing e.g. opening/closing a long/short position, increasing/reducing a long/short position | Number of reference securities | Price per unit |
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(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
Class of relevant security | Product description e.g. call option | Writing, purchasing, selling, varying etc. | Number of securities to which option relates | Exercise price per unit | Type e.g. American, European etc. | Expiry date | Option money paid/ received per unit |
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(ii) Exercise
Class of relevant security | Product description e.g. call option | Exercising/ exercised against | Number of securities | Exercise price per unit |
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(d) Other dealings (including subscribing for new securities)
Class of relevant security | Nature of dealing e.g. subscription, conversion | Details | Price per unit (if applicable) |
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4. OTHER INFORMATION
(a) Indemnity and other dealing arrangements
Details of any indemnity or option arrangement, or any agreement or understanding, formal or informal, relating to relevant securities which may be an inducement to deal or refrain from dealing entered into by the person making the disclosure and any party to the offer or any person acting in concert with a party to the offer: Irrevocable commitments and letters of intent should not be included. If there are no such agreements, arrangements or understandings, state “none” |
None
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(b) Agreements, arrangements or understandings relating to options or derivatives
Details of any agreement, arrangement or understanding, formal or informal, between the person making the disclosure and any other person relating to: (i) the voting rights of any relevant securities under any option; or (ii) the voting rights or future acquisition or disposal of any relevant securities to which any derivative is referenced: If there are no such agreements, arrangements or understandings, state “none” |
None
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(c) Attachments
| Is a Supplemental Form 8 (Open Positions) attached? | YES |
| Date of disclosure: | 19 Aug 2021 |
| Contact name: | Large Holdings Regulatory Operations |
| Telephone number: | 020 3134 7213 |
Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service.
The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s disclosure requirements on +44 (0)20 7638 0129.
*If the discloser is a natural person, a telephone number does not need to be included, provided contact information has been provided to the Panel’s Market Surveillance Unit.
The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.
SUPPLEMENTAL FORM 8 (OPEN POSITIONS)
DETAILS OF OPEN STOCK-SETTLED DERIVATIVE (INCLUDING OPTION) POSITIONS, AGREEMENTS TO PURCHASE OR SELL ETC.
Note 5(i) on Rule 8 of the Takeover Code (the “Code”)
1. KEY INFORMATION
| Identity of the person whose positions/dealings | Barclays PLC. |
| are being disclosed: | |
| Name of offeror/offeree in relation to whose | NORTONLIFELOCK INC |
| relevant securities this from relates: |
2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)
| Class | Product | Writing, | Number | Exercise | Type | Expiry |
| of | description | purchasing, | of | price | date | |
relevant | selling, | securities | per unit | |||
security | varying etc | to which | ||||
| option | ||||||
| relates | ||||||
USD 0.01 common | Call Options | Purchased | 500 | 27.0000 | American | 21 Jan 2022 |
USD 0.01 common | Call Options | Purchased | 11,400 | 26.0000 | American | 20 Aug 2021 |
USD 0.01 common | Call Options | Purchased | 50,000 | 25.0000 | American | 20 Aug 2021 |
USD 0.01 common | Call Options | Purchased | 200,000 | 24.0000 | American | 20 Aug 2021 |
USD 0.01 common | Put Options | Purchased | -11,400 | 26.0000 | American | 20 Aug 2021 |
USD 0.01 common | Put Options | Purchased | -2,100 | 30.0000 | American | 21 Jan 2022 |
3. AGREEMENTS TO PURCHASE OR SELL ETC.
Full details should be given so that the nature of the interest or position can be fully understood: |
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It is not necessary to provide details on a Supplemental Form (Open Positions) with regard to cash-settled derivatives.
The currency of all prices and other monetary amounts should be stated.
The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s disclosure requirements on +44 (0)20 7638 0129.
The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.
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